[Federal Register: May 24, 2002 (Volume 67, Number 101)]
[Notices]
[Page 36622-36632]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr24my02-94]
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DEPARTMENT OF HEALTH AND HUMAN SERVICES
Administration for Children and Families
[Program Announcement No. CFDA 93.598]
ORR Announcement for Services To Victims of a Severe Form of
Trafficking
AGENCY: Office of Refugee Resettlement (ORR), ACF, HHS.
ACTION: Request for Applications for projects to increase awareness
about human trafficking and to support services for individuals
determined to be victims of a severe form of trafficking. This notice
supersedes the notice published in the Federal Register on February 8,
2002 (67 FR 6048).
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SUMMARY: This ORR announcement invites submission of grant applications
for funding, on a competitive basis, in three categories: Category 1--
Local/Community Outreach and/or Services for Victims of a Severe Form
of Trafficking; Category 2--Technical Assistance and Training; and
Category 3--Information Discovery for National Outreach/Educational
Campaign.
DATES: July 31, 2002 is the closing date for all categories. Please
note that all applications must be received (as opposed to postmarked)
in ACF by this date or they will be considered late.
Announcement Availability: The program announcement and the
application materials are available from Jay Womack and Neil Kromash,
Office of Refugee Resettlement (ORR), 370 L'Enfant Promenade SW,
Washington, DC 20447 and from the ORR website at: www.acf.hhs.gov/
programs/orr
FOR FURTHER INFORMATION CONTACT: For all categories, contact Jay
Womack, (202) 401-5525, jwomack@acf.hhs.gov or Neil Kromash, (202) 401-
5702, nkromash@acf.hhs.gov.
SUPPLEMENTARY INFORMATION: This program announcement consists of four
parts:
Part I: Background, legislative authority, funding availability, CFDA
Number, eligible applicants, project and budget periods, and for each
of the three categories--program purpose and objectives, allowable and
non-allowable activities, and review criteria.
Part II: The Review Process--intergovernmental review, initial ACF
screening, and competitive review.
Part III: The Application--application forms, application submission
and deadlines, certifications, general instructions for preparing a
full project description, and length of application.
Part IV: Post-award--applicable regulations, treatment of program
income, and reporting requirements.
Paperwork Reduction Act of 1995 (Pub. L. 104-13)
Public reporting burden for this collection of information is
estimated to average 16 hours per response, including the time for
reviewing instructions, gathering and maintaining the data needed, and
reviewing the collection of information. The following information
collections are included in the program announcement for categories 1-
3: OMB Approval No. 0970-0139, ACF UNIFORM PROJECT DESCRIPTION (UPD)
attached as Appendix A, which expires 12/30/03 and OMB Approval No.
0970-0036, ORR Quarterly Performance Report (QPR) and Schedule C which
expire 7/31/02. An agency may not conduct or sponsor, and a person is
not required to respond to, a collection of information unless it
displays a currently valid OMB control number.
Part I: Background
Since 1994, ORR has provided assistance for social services to meet
the needs of newly arriving refugees through a standing announcement.
In May 2001, ORR modified that announcement to include services to
victims of a severe form of trafficking. However, in February 2002, ORR
further modified Category 3 of the existing standing announcement by
removing services to victims of a severe form of trafficking in order
to proceed with a new and separate announcement specifically aimed at
promoting awareness about human trafficking and addressing the service
needs of victims of a severe form of trafficking. That notice of
modification was published in the Federal Register on February 8, 2002
(67 FR 6048).
This new Announcement establishes a new set of three categories
designed to increase awareness about trafficking in persons and provide
assistance to victims of a severe form of trafficking.
Legislative Authority
These grants are authorized by three provisions of law: section
107(b)(1)(B) of the Trafficking Victims Protection Act of 2000 (TVPA),
section 412(c)(1)(A) of the
[[Page 36623]]
Immigration and Nationality Act (INA) (8 U.S.C. 1522(c)(1)(A)), as
amended, and section 106(b) of the TVPA.
Section 107(b)(1)(B) of the TVPA, Pub. L. 106-386, Division A, 114
Stat. 1464 (2000), provides that ``[federal agencies] shall expand
benefits and services to victims of severe forms of trafficking in
persons in the United States, without regard to the immigration status
of such victims.'' Section 107(b) of the TVPA also provides that
individuals who are determined to be victims of a severe form of
trafficking will be issued a certification letter (for adults) or
eligibility letter (for minors under the age of 18) from the U.S.
Department of Health and Human Services (HHS). In conducting a benefits
eligibility determination for a victim of a severe form of trafficking,
benefit-granting agencies should accept the HHS certification letter or
HHS eligibility letter for minors in lieu of documentation from the
Immigration and Naturalization Service and as proof of a status that
confers eligibility for benefits.
Section 412(c)(1)(A) of the INA authorizes the Director ``to make
grants to, and enter into contracts with, public or private nonprofit
agencies for projects specifically designed--(i) to assist refugees in
obtaining the skills which are necessary for economic self-sufficiency,
including projects for job training, employment services, day care,
professional refresher training, and other re-certification services;
(ii) to provide training in English where necessary (regardless of
whether the refugees are employed or receiving cash or other
assistance); and (iii) to provide where specific needs have been shown
and recognized by the Director, health (including mental health)
services, social services, educational and other services.''
Section 106(b) of the TVPA provides: ``The President, acting
through the Secretary of Labor, the Secretary of Health and Human
Services, the Attorney General, and the Secretary of State, shall
establish and carry out programs to increase public awareness,
particularly among potential victims of trafficking, of the dangers of
trafficking and the protections that are available for victims of
trafficking.
Funding Availability
In FY 2002, ORR expects to award an estimated $3.9 million in funds
that were appropriated to carry out the Trafficking Victims Protection
Act of 2000. ORR expects to make approximately 8-10 grants under
Category 1--Local/Community Outreach and/or Services for Victims of a
Severe Form of Trafficking ranging from $50,000 to $250,000 for a total
of up to $2,500,000; renewable on a yearly basis for up to 3 years,
subject to availability of funds; one grant under Category 2--Technical
Assistance and Training ranging from $300,000 to $500,000 for a total
of up to $500,000 per year, renewable on a yearly basis for up to 3
years, subject to availability of funds; and one grant under Category
3--Information Discovery for National Outreach/Educational Campaign for
a total of up to $900,000 per year, renewable on a yearly basis for up
to 3 years, subject to availability of funds.
The Director reserves the right to award less or more than the
funds described in this announcement. In the absence of worthy
applications the Director may decide not to make an award if deemed in
the best interest of the government. Funding availability for future
years is at the Director's discretion.
CFDA Number--93.598
Eligible Applicants
In Categories 1 and 2 public and private nonprofit organizations,
including faith-based organizations, are eligible to apply for these
grants (see [sect] 412(c) of the INA). ORR expects that applicants will
coordinate with other local organizations in considering projects and
proposing services. In Category 3, any entity is eligible to apply (see
section 106(b) of the TVPA), although HHS funds may not be paid as
profit to any recipients even if the recipient is a commercial
organization (45 CFR 74.81).
Any private nonprofit organization submitting an application must
submit proof of its nonprofit status at the time of submission. A
nonprofit agency can accomplish this by providing a copy of the
applicant's listing in the Internal Revenue Service's (IRS) most recent
list of tax-exempt organizations described in section 501(c)(3) of the
IRS code or by providing a copy of the currently valid IRS tax
exemption certificate.
An applicant may submit more than one application under this
announcement, but must apply separately for each category.
Project and Budget Periods
This announcement is inviting applications in Categories 1, 2, and
3 for project periods of up to three years. Awards, on a competitive
basis, will be for a one-year budget period although project periods
may be up to three years. Applications for continuation grants funded
under these awards, beyond the one-year budget period but within the
three-year project period, will be entertained in subsequent years on a
noncompetitive basis, subject to availability of funds, satisfactory
progress of the grantee and a determination that continued funding
would be in the best interest of the Government.
Category 1--Local/Community Outreach and/or Services for Victims of a
Severe Form of Trafficking
Purpose and Objectives
The purpose of Category 1, Local/Community Outreach and/or Services
for Victims of a Severe Form of Trafficking, is multifaceted. It
combines the need to increase local/community awareness about the
burgeoning problem of human trafficking with the need to provide
resources that will address the needs of individuals determined to be
victims of a severe form of trafficking. Category 1 applications may
choose to concentrate exclusively on one of these two areas, or focus
more comprehensively on a combination of activities that incorporates
both.
Local/Community Outreach
The emphasis on Category 1 is to provide state and local law
enforcement, public and private service providers, non-governmental
organizations, immigrant and refugee communities, and individual
community members with opportunities to learn about the Trafficking
Victims Protection Act of 2000 (TVPA). The TVPA has presented an
unprecedented opportunity to address the previously hidden problem of
human trafficking. However, knowledge of the TVPA is limited among
service professionals, law enforcement agencies, and the general
public. Knowledge of benefits available to victims is similarly
limited, especially among groups that do not normally access benefits
or have connections with benefit-providing agencies and organizations.
Educational opportunities need to be extended to these groups to
allow them to learn about the existence of human trafficking within the
United States and to recognize trafficking, particularly in their local
communities. Integral in these outreach activities should be
familiarity with the legal definition of ``severe forms of trafficking
in persons'' as described in the TVPA. Subsequently, a clear
understanding should be established of the criteria necessary to
qualify as a victim of a severe form of trafficking for benefits and
services purposes.
[[Page 36624]]
Once trafficking victims have been identified, organizations must
be empowered to provide victims with additional information and
resources to access services available to them. Law enforcement
agencies that have contact with immigrant or refugee populations must
also be educated to look below the surface of people's circumstances in
such areas as prostitution and immigrant labor. Service providers need
to learn about the varied backgrounds from where the victims come and
most importantly the unique issues that trafficking victims will
present following their emancipation.
Organizations must establish that within their geographic locality/
area there is a reasonable expectation that victims of a severe form of
trafficking may be identified. Successful applicants will consider
which services need to be enhanced or increased in light of increased
community awareness of trafficking.
ORR is interested in providing resources for organizations to cover
the costs of reaching out to community-based organizations so that
victims are identified where they have the best chance for receiving
assistance. In turn, communities where outreach and educational
opportunities are being extended may experience an increase in the
numbers of victims being identified and requesting services.
Services to Victims of a Severe Form of Trafficking
Through Category 1, Services to Victims of a Severe Form of
Trafficking, ORR seeks to provide resources that will address the needs
of individuals determined to be victims of a severe form of
trafficking. Victims must be the recipients of a certification or
eligibility letter from HHS in order to gain access to this assistance.
We believe that enhanced case management, education, culturally and
linguistically appropriate linkages and coordination with other service
providers contribute to the overall well-being of trafficking victims.
Victims may also require initial assistance accessing refugee and/or
mainstream services for which they are eligible. The services funded
through Category 1 should enhance the likelihood of victims of a severe
form of trafficking receiving needed support as they work with the
criminal justice system to assist in the investigation and prosecution
of trafficking crimes. In all instances, activities must be designed to
supplement, rather than supplant, the existing array of refugee
services available in the community.
An applicant should provide anecdotal evidence that there have been
victims of a severe form of trafficking within their community and/or a
reasonable assumption that there may be additional unidentified victims
in that community.
This grant program is intended to support services that address the
special conditions of victims of a severe form of trafficking. ORR's
expectation is that victims of trafficking will most likely, after a
brief period of time, access mainstream services. Therefore, grantees
should view these resources as a temporary solution.
According to post award requirements, grantees are expected to file
periodic program reports. In the last two Program Performance Reports,
grantees will discuss the transition of services indicating whether the
services are now supported by the State, other public or private
resources, or are no longer needed. These reports must provide
supporting information on the impact of the services provided to the
target population.
Allowable Activities
Local/Community Outreach
Allowable activities for local/community outreach include hosting
community forums (including coordination and facilitation of outreach
events) to raise general awareness about the problem of trafficking in
their local community. In addition, applicants should emphasize the
development of advertising and marketing anti-trafficking materials
that reflect the broad scope of the various forms of trafficking
(including debt bondage, peonage, forced labor and forced prostitution)
and that are linguistically and culturally accessible, appropriate, and
sensitive.
Applications focusing on Local/Community Outreach should indicate
approximate timelines for development, dissemination, and review of
actions presented to measure the effectiveness of the communication.
Services to Victims of a Severe Form of Trafficking
Allowable activities for Services to Victims of a Severe Form of
Trafficking are restricted solely to individuals who are the recipients
of a certification (for adults) or eligibility (for minors) letter from
HHS. Some of the services needed for victims of a severe form of
trafficking might include:
[sbull] Special medical care that is not otherwise available to the
individual;
[sbull] Assistance with temporary transportation needs;
[sbull] Temporary housing;
[sbull] Temporary housing for young adults with limited experience
living in families;
[sbull] Independent living skills and cultural orientation;
[sbull] Access to appropriate educational programs;
[sbull] Legal assistance/referrals and administrative costs
(excluding T-visa application fees and/or attorney fees).
[sbull] Case management, to include information and referral to
needed services in the community, either funded refugee services or
mainstream services as appropriate;
[sbull] Special mental health services, such as trauma counseling,
and
[sbull] Other services needed to bridge the time between the
certification or eligibility date indicated directly on the
Department's letter, and the receipt of public benefits and support
services.
Applicants focusing on Services to Victims of a Severe Form of
Trafficking should indicate how they will ensure that services are
appropriate and accessible both linguistically and culturally.
Non-Allowable Activities
Funds will not be awarded to applicants for the purpose of engaging
in activities of a distinctly political nature, activities designed
exclusively to promote the preservation of a specific cultural
heritage, or activities with an international objective (i.e.,
activities related to events in the refugees' country of origin).
Review Criteria
1. Objectives and Need--Local/Community Outreach--The applicant
demonstrates a clear understanding of the population to be served. The
conditions in proposed communities are clearly described, including the
reasonable expectation of identifying trafficking victims within the
community. The need for additional information leading to enhanced
acknowledgment of trafficking is documented. The applicant provides
anecdotal evidence that there are enough people and/or organizations
that would benefit from this type of outreach/educational opportunity.
Services for Victims of a Severe Form of Trafficking--The applicant
demonstrates a clear understanding of the population to be served. The
number of projected victims of trafficking to be served is reasonable
in light of the organization's capacity. The application proposes to
address a program of services for victims of trafficking. (25 points)
2. Results or Benefits Expected--The applicant clearly describes
the results
[[Page 36625]]
and benefits to be achieved. The application clearly describes how the
specific target population will benefit from proposed services, e.g.,
enhanced case management, special medical care, referrals and follow-up
with culturally and linguistically appropriate mainstream providers.
Results or benefits are described also in terms of the opportunities
provided for victims, benefit-providing agencies, and law enforcement.
The application describes how the impact of the funds will be measured
on key indicators associated with the purpose of the project. Proposed
outcomes are measurable and achievable within the grant project period,
and the proposed monitoring and information collection is adequately
planned. (25 points)
3. Approach--The strategy and plan, including a description of each
proposed community and an assessment of appropriateness of activities,
are likely to achieve proposed results. The proposed activities and
timeframes are reasonable and feasible. The plan describes in detail
how the proposed activities will be accomplished as well as the
potential for the project to generate additional interest in outreach
to victim populations and coordination with other services. The
application includes a clear and comprehensive description of the
communities proposed and how they will be impacted by this project.
Assurance is provided that proposed services will be delivered in a
manner that is linguistically and culturally appropriate to the target
population. The applicant has described the planning consultation
efforts undertaken. Where coalition partners are proposed, the
applicant describes each partner agency's respective role and financial
responsibilities and describes how the coalition will enhance the
accomplishment of the project goals. Evidence of commitment of
coalition partners in implementing the activities is demonstrated,
i.e., by Memoranda of Understanding (MOUs) among participants.
Assurance is provided that proposed services will be delivered in a manner that is linguistically and culturally appropriate to the target
population. (25 points)
4. Organizational Profiles--The administrative and management
features of the project, including a plan for fiscal and programmatic
management of each activity and planning activities, are described in
detail with proposed start-up times, ongoing timelines, major
milestones or benchmarks, a component/project organization chart,
management of affiliates, and a staffing chart of affiliate network.
The qualifications of project staff, both applicant and affiliate
agencies, as well as any volunteers, are documented. The applicant has
provided a copy of its most recent audit report. (10 points)
5. Budget and Budget Justification--The budget and narrative
justification are reasonable, clearly presented, and cost-effective in
relation to the proposed activities and anticipated results. The
applicant clearly indicates how awarded funds will complement other
community outreach efforts and/or social services to achieve the
objectives. Planning for continuation of services beyond the project
period is realistic. (15 points)
Category 2--Technical Assistance and Training
Purpose and Objectives
This program is to provide technical and issue-specific assistance
and training to organized groups, organizations, and individuals
regarding the background and impact of the TVPA, with specific emphasis
on the provision of benefits as it relates to the needs of trafficking
victims. The program is also aimed at providing and disseminating
research and resources for benefit-issuing agencies, law enforcement
agencies, and others relating to issues of trafficking in persons.
We believe that strong technical assistance for the provision of
benefits is needed by organizations and individuals that have limited
experience working with victims of a severe form of trafficking.
Victims of a severe form of trafficking have distinct and acute needs
for assistance that may differ from the needs of other refugees.
Programs targeted at domestic victims of crime are not necessarily
prepared to address the specific needs of trafficking victims (e.g.,
culturally appropriate and sensitive trauma counseling, language
translation, legal and immigration process referrals). Likewise, many
refugee benefit-issuing organizations do not have experience in
identifying the needs of a trafficking victim as distinct from the
needs of other refugee populations.
The target audience requires guidance on: The types of benefits and
services available to victims; barriers to victims receiving benefits;
successful methodologies to ensure that victims access benefits and
services available to them; and how to provide case assessments (needs
assessments) of victims, including how to conduct clinical assessments.
Organizations and individuals also need to learn more about the
TVPA including the legislative background, programmatic impact,
technical details of the Act, and the processes that enable victims to
receive certain types of benefits. Additional background regarding the
history of trafficking prior to the TVPA, including precipitating
factors to the enactment of the law, will also provide a better
understanding of the potential impact of the TVPA for both victims and
service providers.
To ensure that service organizations, law enforcement agencies and
others have all the necessary information that enables them to provide
assistance to victims, the development of research and background
materials is critical. As resources and information continue to be
developed, these resources need to be disseminated to ensure that the
growing base of knowledge can be used to create effective and lasting
programmatic advances for victim assistance.
We expect that applicants to this program category will have strong
knowledge of and demonstrate significant experience working with
victims of a severe form of trafficking in areas including direct
services, legal assistance referrals, and case management.
Allowable Activities
ORR will accept applications under this announcement for projects
that propose services that enhance the knowledge base and service
ability of other potential grantees, current grantees, law enforcement
agencies, benefit-issuing agencies and other concerned populations who
are working with or may be working with victims of a severe form of
trafficking.
Specific activities may include:
[sbull] Educational outreach. Serving as a consulting partner to
other ORR trafficking grantees. Providing technical guidance to other
agencies regarding benefits and services available to victims of a
severe form of trafficking and the travel associated with this
activity.
[sbull] Meetings and conferences. Hosting educational events to
disseminate information on victim services and methodologies.
Participation in national or international meetings and conferences
that may contribute to capacity development and knowledge base on
trafficking, and otherwise enhance collaborative activities.
(Note--all international travel must be approved in advance by ORR
project officer.)
[sbull] Clearing house of information. Development of a library of
resources to be made available to other organizations and individuals.
Development of an internet web site which could include
[[Page 36626]]
chat, resources, links, or community bulletin boards. Providing and
facilitating information exchange among various contributors.
[sbull] Consultation/mentoring services. Providing specific issue
guidance/advice to other agencies working on anti-trafficking
initiatives.
[sbull] Curriculum development and dissemination. Development of
written protocols for handling trafficking cases and directing victims
to available benefits.
Acceptable applications will include the development of curricula
that can be disseminated to other organizations. Curricula should
follow the above objectives and address the provision of benefits,
methodologies for successful implementation, as well as follow-up
resource development. Included in the development process should be
allowances for training other organizations on the curricula and
follow-up as needed.
Non-Allowable Activities
Funds will not be awarded to applicants for the purpose of engaging
in activities of a distinctly political nature, activities designed
exclusively to promote the preservation of a specific cultural
heritage, or activities with an international objective (i.e.,
activities related to events in the trafficking victims' country of
origin).
Review Criteria
1. Objectives and Need--The applicant demonstrates a clear
understanding of the population to be served through significant/
extensive experience working with victims of a severe form of
trafficking. The applicant demonstrates clear training and advocacy
experience through quantitatively demonstrated experience with
trafficking victims of various cultural, linguistic, and experiential
background. The applicant has experience with case assessment and
creating links to law enforcement agencies, benefit issuing agencies,
non-profit organizations and others. The application proposes to
address a program of services for victims of trafficking. (25 points)
2. Results or Benefits Expected--The application clearly describes
how the specific target population will benefit from proposed services,
e.g., enhanced case management ability, increased capacity to create
referrals, and follow-up with culturally and linguistically appropriate
mainstream providers. Any curricula developed can be used as key
resource to be shared throughout the country and provided in
conjunction with at least three (3) training sessions within the first
year of the grant. Proposed quantitative outcomes are tangible and
achievable within the grant project period and the proposed monitoring
and information collection are adequately planned. (25 points)
3. Approach--The strategy and plan are likely to achieve the
proposed results; the proposed activities and timeframes are reasonable
and feasible. The plan describes in detail how the proposed activities
will be accomplished as well as the coordination with any other
services. Assurance is provided that proposed services will be
delivered in a manner that is linguistically and culturally appropriate
to the target population. Where coalition partners are proposed, the
applicant describes each partner agency's respective role and financial
responsibilities; and describes how the coalition will enhance the
accomplishment of the project goals. The applicant has described the
planning consultation efforts undertaken. Evidence of commitment of
coalition partners in implementing the activities is demonstrated,
i.e., by Memoranda of Understanding (MOUs) among participants. (25
points)
4. Organizational Profiles--Individual organization staff including
volunteers are well qualified. The administrative and management
features of the project, including a plan for fiscal and programmatic
management of each activity, are described in detail with proposed
start-up times, ongoing timelines, major milestones or benchmarks, a
component/project organization chart, and a staffing chart. The
applicant has provided a copy of its most recent audit report. (15
points)
5. Budget and Budget Justification--The budget and narrative
justification are reasonable, clearly presented, and cost-effective in
relation to the proposed activities and anticipated results. Planning
for any costs for publication, printing, dissemination, and similar
costs are reasonable and comprehensive. (10 points)
Category 3--Information Discovery for National Outreach/Educational
Campaign
Purpose and Objectives
The purposes of this project are: (A) To determine the extent of
community awareness regarding the problem of human trafficking among
both the general United States population and the organizations that
serve victims; and (B) to better understand the successful approaches
that might encourage victims to come forward for identification and
assistance. The resultant information will be used as the basis for an
array of culturally appropriate Public Service Announcements (PSAs)
designed to increase the number of victims identified and encourage the
development and implementation of additional programs intended to
protect and care for victims of severe forms of trafficking.
There is a critical need for information discovery regarding public
awareness of trafficking, of provisions of the Trafficking Victims
Protection Act of 2000 (TVPA), and identification of factors that
encourage victims to come forward to access protection and services.
Given the relatively recent passage of this legislation and the TVPA's
impact upon the welfare of trafficking victims, ORR believes it is
important for this information to be gathered and analyzed without
delay in order to identify and assist additional victims.
In comparison to other immigrant populations (i.e., refugees or
asylees) trafficking victims are a population about whom relatively
little is known. Due to the nascent nature of the TVPA, there is a
relatively small number of victims who have been made eligible to
receive certain federal or state funded or administered benefits. While
there is a growing amount of anecdotal evidence about the needs of
trafficking victims and their access to benefits, this evidence may not
accurately reflect the range of victim needs. For example, trafficking
victims may require immediate, secure, and confidential contact with
law enforcement agencies while other immigrant populations may not. We
need more information to fully estimate the level of public awareness
of trafficking and the factors that may encourage victims to come
forward to utilize available benefits and services.
It is also important to describe how victims interact with
community organizations and service providers. Many of these
organizations currently play a vital role in identifying and providing
support to trafficking victims and may be called upon for additional
support. For example, organizations that are the front line service
providers at hospitals, clinics, or domestic violence shelters may not
realize that many of the people they have assisted are actually
trafficking victims. Similarly, community organizations (e.g., mutual
assistance associations) and religious institutions can play an
important role in the lives of trafficking victims. This project will
seek to improve our understanding of those roles and how they are
affected by the TVPA.
[[Page 36627]]
Allowable Activities
Grantee Responsibilities
1. The Grantee should propose a project work plan that describes
conditions within the topic areas underlined below. The project should
explore the knowledge and relationships among trafficking victims
(including child and elderly victims), service providers, and community
organizations within each topic. Questions listed next to each topic
suggest the type of information in which ORR has particular interest.
[sbull] Trafficking Awareness. What level of awareness does the
general community exhibit? How are communities and individual community
members currently being educated about the existence of trafficking?
How are trafficking victims being educated about the crime of human
trafficking? What information has been disseminated? What have
community members identified as areas in need of increased knowledge or
awareness? What are the successful approaches to encouraging victims to
come forward?
[sbull] Victim Identification. Who are the first to come into
contact with victims? How are victims identified as victims (e.g.,
victim determination) and who does this? How much information do these
organizations/groups have regarding the TVPA? What connection, if any,
do they have with other providers?
[sbull] Victim Assistance. To what extent is the community aware of
assistance that may be made available to victims? How are services
being directed to victims? What actions have been taken or are planned
to expand these services? What is the demand for community-based
assistance (including food, medical, and mental health services)? To
what sources do victims turn in order to meet their needs?
[sbull] Employment. What type of employment do victims pursue
following their emancipation? How long do they stay in their jobs? What
level of wages do victims receive and how much do they receive in total
earnings? What fringe benefits do victims receive from their employers?
What are the child care arrangements for employed trafficking victims?
[sbull] Victims' Income. What are victims' sources of income
following their emancipation and how much do they receive from each
source? What is the ratio of assistance to total income? What types of
assistance and services are received and from whom (e.g., public or
private service providers, friends, family)?
[sbull] Role of Community Organizations. What role(s) do community
organizations have in identifying trafficking victims? What type (e.g.,
housing, security, medical, clothing, etc.) and how much assistance do
trafficking victims receive from those community organizations,
including religious institutions? How have these organizations helped
victims access public benefits to which victims may be eligible under
the TVPA?
Special consideration will be given to applications that
demonstrate a concerted effort to examine organizations and individuals
who are reaching out to victims of severe forms of trafficking and
pursuing actions that encourage victims to come forward. Applicants
should focus on at least two communities with high densities of
trafficking victims.
The applicant's proposal should also seek to answer the relevant
questions above from the standpoint of victims, service providers, and
community organizations. The methodology for accomplishing this
approach is at the discretion of the grantee; however, many
organizations that initially come into contact with victims may be
excellent sources of information. These could include, but are not
limited to, hospitals, clinics, police and other law enforcement
agencies, immigrant-serving community-based organizations, social
service providers, child care facilities, and public health
authorities. Information from these organizations should describe the
relationship between trafficking victims and the community, the types
of support community organizations provide to immigrant families, and,
to the extent possible, any outreach efforts being undertaken.
2. Category three of this announcement is the only category that
will be a cooperative agreement. In the spirit of the cooperative
agreement, the Grantee should provide monthly updates to inform the
Federal Project Officer of research developments and the status of
project activities.
3. With input from the Federal Project Officer, the Grantee should
select an Advisory Panel to provide guidance in project development.
The Advisory Panel may participate in subsequent meetings between the
Federal Project Officer and the Grantee. The Grantee may be responsible
for the Advisory Panel's travel and related expenses, if any.
4. Prior to completion of the work plan (analysis plan), the
Grantee should meet with relevant Federal personnel in Washington, DC
to discuss the preliminary methodology and design of the research
project including what research questions will be answered and what
methodology the Grantee will employ to answer the questions. Federal
personnel will have the opportunity to provide input and suggestions in
these areas. If applicable, the Federal Project Officer should be
invited to participate in other meetings in which the Grantee is
involved during discussions regarding critical aspects of the project
with other funding sources.
5. After consultation, the Grantee should submit a final work plan
that is based on any updates to the work plan submitted in the original
application. The plan should:
(a) Include a complete list of research questions the project will
answer and the variables that will be used to answer each question.
These variables could include (but are not limited to) immigration
status and demographic information for all victims, including income
level and source; type of victimization; benefit eligibility and
history, employment history; and health status.
(b) Identify and describe the methodology used to gather
information on trafficking with respect to these variables and the
analysis to be performed.
(c) Identify how the proposed variables and data sets will be used
by the Grantee to answer the research questions described in the work
plan.
(d) Identify important questions/issues for which data currently
are not available, and strategies for dealing with this lack of data
when it pertains to the research questions in the work plan.
(e) Identify how the confidentiality will be protected of any
research subjects involved in the project.
(f) Describe the results that will be produced and construct
examples of tables illustrating how these results will be presented.
(g) Identify steps to coordinate with any federal or contractor
staff assigned responsibility for designing and implementing the
national outreach/educational campaign.
6. Once initial analyses have been conducted, the Grantee should
meet with relevant federal personnel in Washington, DC to discuss
preliminary findings and the format for the final report. In the spirit
of a cooperative agreement, the Grantee should work with federal
personnel to determine the need for additional collection or analysis
of information.
7. After completing their analysis, the Grantee will prepare a
final report describing the procedures used to gather information and
conduct the analysis, barriers encountered in completing the
[[Page 36628]]
project and the results of their analysis. A draft of this report
should be delivered to the Federal Project Officer before the
completion of the project. The Federal Project Officer will return
comments on the draft report to the Grantee and a final report that
reflects the comments of the Federal Project Officer should be
delivered to the Grants Officer before the completion of the project.
The report should be provided to the Grants Officer both in hard copy
and on 3.5'' floppy disk in a format that is agreed upon by both
parties.
8. Following the completion of the final report, the Grantee should
conduct a briefing in Washington, DC for federal personnel regarding
the results of the analyses. The Grantee should be responsible for
assembling and copying any necessary briefing materials. The briefing
should take place before the completion of the project.
9. The Grantee will make data and analysis completed as a result of
this project available to the research community and the government.
ORR Responsibilities
ORR will:
1. Provide input into the final work plan, including methodology,
analysis, and dissemination plan.
2. Provide consultation and technical assistance in planning and
operating program activities.
3. Work with the Grantee to resolve any methodological or
analytical issues.
4. Assist in the transfer of information to appropriate federal,
state and local entities, including any PSA developer(s).
5. Review Grantee activities and provide feedback to ensure that
objectives and award conditions are being met. ORR retains the right to
withhold future year funding if technical performance requirements are
not met.
Non-Allowable Activities
Funds will not be awarded to applicants for the purpose of engaging
in activities of a distinctly political nature, activities designed
exclusively to promote the preservation of a specific cultural
heritage, or activities with an international objective (i.e.,
activities related to events in the refugees' country of origin).
Review Criteria
1. Objectives and Need for Assistance--The objectives and
anticipated results of the proposed project will advance policy
knowledge and development. The proposed research questions address the
required topics listed in this announcement and answers to these
questions will effectively describe the status of trafficking victims,
their communities and the organizations that serve them. The applicant
demonstrates a clear understanding of the populations to be researched
through significant/extensive knowledge of the issues of severe forms
of trafficking in persons and the effect upon victims. The applicant
demonstrates clear research experience through quantitatively
demonstrated experience with trafficking victims of various cultural,
linguistic, and experiential backgrounds. The applicant has experience
with creating links to law enforcement agencies, benefit issuing
agencies, non-profit organizations and others. The application proposes
to develop information to be used to design and execute a national
outreach and educational program with the goal of increasing public
awareness about human trafficking. (25 points)
2. Results or Benefits Expected--Information and data are developed
and provided that will allow PSA creator(s) to choose and target
specific geographic media markets on the problem of human trafficking.
(25 points)
3. Approach--Information gathering supplements (rather than
duplicates) studies already underway by the federal government,
including research on current and/or effective public awareness
strategies for victims of trafficking. Methodology is appropriate,
sound, and cost-effective, including the research design, statistical
techniques, analytical strategies, selection of existing data sets, and
other procedures. Sites selected for the study have a concentration of
previously identified trafficking victims, diverse demographic victim
populations (i.e. country of origin, types of identified trafficking
crimes--sexual exploitation, involuntary domestic servitude, forced
labor, etc.), and diverse levels of local service provision.
The proposed methodology accurately describes victims' status as
suggested by the topics listed in this announcement, as well as the
interaction between victims, their communities and service providers.
To the extent that projects seek to examine the impact of the TVPA, the
applicant's proposed methodology reliably attributes impacts. (20
points)
4. Organizational Profiles--Project personnel are well qualified to
conduct the proposed research, as evidenced by their professional
training and experience. The capacity of the organization to provide
the infrastructure and support necessary for the project is suitable.
The applicant has experience coordinating and sequencing tasks with
other organizations. Special consideration will be given to applicants
that collaborate with organizations that frequently work with immigrant
populations. The applicant has pledged and shown ability to work in
collaboration with other organizations in search of similar goals. The
applicant has demonstrated capacity to work with a range of government
agencies. The administrative and management features of the project,
including a plan for fiscal and programmatic management of each
activity, are described in detail with proposed start-up times, ongoing
timelines, major milestones or benchmarks, a component/project
organization chart, and a staffing chart. The applicant has provided a
copy of its most recent audit report. (20 points)
5. Budget and Budget Justification--The budget and narrative
justification are reasonable, clearly presented, and cost-effective in
relation to the proposed activities and anticipated results. Planning
for any costs for information research, dissemination, and similar
costs (e.g., travel) are reasonable and comprehensive. Applications
should include separate estimates for each of the three years, if
funding levels are expected to be substantially different in subsequent
years. (10 points)
Part II: The Review Process
Intergovernmental Review--This program is covered under Executive
Order 12372, ``Intergovernmental Review of Federal Programs,'' and 45
CFR part 100, ``Intergovernmental Review of Department of Health and
Human Services Programs and Activities.'' Under the Order, States may
design their own processes for reviewing and commenting on proposed
federal assistance under covered programs.
[sbull] All States and Territories except Alabama, Alaska, Arizona,
Colorado, Connecticut, Hawaii, Idaho, Indiana, Kansas, Louisiana,
Massachusetts, Minnesota, Montana, Nebraska, New Jersey, New York,
Ohio, Oklahoma, Oregon, Pennsylvania, South Dakota, Tennessee, Vermont,
Virginia, Washington, Wyoming, and Palau have elected to participate in
the Executive Order process. Applicants from these twenty-seven
jurisdictions need take no action regarding E.O. 12372. Applicants for
projects to be administered by Federally-recognized Indian Tribes are
also exempt from the requirements of E.O. 12372. Applicants should
contact their Single-Points-of-Contact (SPOC) as soon as possible to
alert them of the
[[Page 36629]]
prospective applications and receive any necessary instructions.
Applicants from participating jurisdictions must submit any required
material to the SPOCs as soon as possible so that the program office
can obtain and review SPOC comments as part of the award process. The
applicant must submit all required materials, if any, to the SPOC and
indicate the date of this submittal (the date of contact) on the
Standard Form 424, item 16a.
Under 45 CFR 100.8(a)(2), a SPOC has 60 days from the application
deadline to comment on proposed new or competing continuation awards.
SPOCs are encouraged to eliminate the submission of routine
endorsements as official recommendations.
Additionally, SPOCs are requested to clearly differentiate between
mere advisory comments and those official State process recommendations
which may trigger the ``accommodate or explain'' rule.
When comments are submitted directly to ACF, they should be
addressed to: Grants Management Officer, U.S. Department of Health and
Human Services, Administration for Children and Families, Office of
Refugee Resettlement, 370 L'Enfant Promenade SW., 4th floor, Washington
DC 20447.
A list of the Single Points of Contact for each participating State
and Territory can be found on the web at: http://www.whitehouse.gov/
omb/index.html.
Initial ACF Screening--Each application submitted under this
program announcement will undergo a pre-review to determine that (1)
the application was received by the closing date of July 31, 2002 and
submitted in accordance with the instructions in this announcement and
(2) the applicant is eligible for funding.
Competitive Review and Evaluation Criteria--Applications which pass
the initial ACF screening will be evaluated and rated by an independent
review panel on the basis of evaluation criteria specified in Part I.
The evaluation criteria were designed to assess the quality of a
proposed project, and to determine the likelihood of its success. The
evaluation criteria are closely related and are considered as a whole
in judging the overall quality of an application. Points are awarded
only to applications that are responsive to the evaluation criteria
within the context of this program announcement.
Applications received for each Category will be scored and ranked
only within the Category designated on the SF 424, e.g. in one of the
three program areas.
Part III: The Application
In order to be considered for a grant under this program
announcement, an application must be submitted on the forms supplied
and in the manner prescribed by ACF. Selected elements of the ACF
Uniform Project Description (UPD) relevant to this program announcement
are attached as Appendix A.
Application Forms--Applicants requesting financial assistance under
this announcement must file the Standard Form (SF) 424, Application for
Federal Assistance; SF 424A, Budget Information--Non-construction
Programs; SF 424B, Assurances--Non-Construction Programs. The forms may
be reproduced for use in submitting applications. Application materials
including forms and instructions are also available from the Contact
named in the preamble of this announcement.
Application Submission and Deadlines--An application with an
original signature and two clearly identified copies are required.
Applicants must clearly indicate on the SF 424 the Category under which
the application is submitted.
The closing date for receipt of applications is (4:30 p.m. Eastern
Time Zone) July 31, 2002. Please note that all applications must be
received in ORR (as opposed to postmarked) by the closing date. Mailed
and hand-carried applications received after the 4:30 p.m. (Eastern
Time Zone) deadline on the closing date will be classified as late.
Mailed applications shall be considered as meeting an announced
deadline if they are either received on or before the deadline time and
date at the: U.S. Department of Health and Human Services,
Administration for Children and Families, Office of Grants Management,
Division of Discretionary Grants, Attention: Grants Management Officer,
370 L'Enfant Promenade SW., 4th Floor, Washington, DC 20447. Applicants
are responsible for mailing applications well in advance to ensure that
applications are received on or before the deadline time and date.
Applications hand-carried by applicants, applicant couriers,
overnight/express mail couriers, or by other representatives on behalf
of the applicant shall be considered as meeting an announced deadline
if they are received on or before the deadline date, between the hours
of 8 a.m. and 4:30 p.m., EST, at the U.S. Department of Health and
Human Services, Administration for Children and Families, Office of
Grants Management, Division of Discretionary Grants, Attention: Grants
Management Officer, 4h Floor, Aerospace Building, 901 D Street, SW.,
Washington, DC 20447 between Monday and Friday (excluding federal
holidays). The address must appear on the envelope/package containing
the application with the note ``Attention: Grants Management Officer.''
(Applicants are cautioned that express/overnight mail services do not
always deliver as agreed.)
ACF cannot accommodate transmission of applications by fax or
through other electronic media. Therefore, applications transmitted to
ACF electronically will not be accepted regardless of date or time of
submission and time of receipt.
The federal government has experienced periodic delays in mail
delivery through the U.S. Postal Service since fall 2001. In some
instances, mail has been delayed up to or over four months. To ensure
that ACF receives your application by the (4:30 p.m. Eastern Time Zone)
July 31, 2002 deadline, you may wish to send your application via an
express mailing service. Also, please send an electronic notification
that you have sent an application to Jay Womack at jwomack@acf.hhs.gov
and Neil Kromash at nkromash@acf.hhs.gov.
Late applications: Applications that do not meet the criteria above
are considered late applications. ACF shall notify each late applicant
that its application will not be considered in the current competition.
Extension of deadlines: ACF may extend application deadlines when
circumstances such as acts of God (e.g. floods, hurricanes, etc.)
occur, or when there are widespread disruptions of mail service.
Determinations to extend or waive deadline requirements rest with the
Chief Grants Management Officer.
For Further Information on Application Deadlines Contact: Grants
Management Officer, Administration for Children and Families, Office of
Grants Management, Division of Discretionary Grants, 370 L'Enfant
Promenade SW., 4th Floor, Washington, DC 20447, Telephone: (202) 401-
4577.
Certifications, Assurances, And Disclosure Required For Non-
Construction Programs--Applicants must sign and return the disclosure
form, if applicable, with their applications. Applicants requesting
financial assistance for non-construction projects must file the
Standard Form 424B, ``Assurances: Non-Construction Programs.''
Applicants must sign and return the Standard Form 424B with their
applications.
Applicants must provide a signed certification regarding lobbying
with their applications, when applying for an
[[Page 36630]]
award in excess of $100,000. Applicants who have used non-federal funds
for lobbying activities in connection with receiving assistance under
this announcement shall complete a disclosure form to report lobbying.
Applicants must make the appropriate certification of their
compliance with the Drug Free Workplace Act of 1988. By signing and
submitting the application, the applicant is providing the
certification and need not mail back the certification with the
application.
Applicants must make the appropriate certification that they are
not presently debarred, suspended or otherwise ineligible for an award.
By signing and submitting the application, the applicant is providing
the certification and need not mail back the certification with the
applications.
General Instructions for Preparing a FulL Project Description
The project description provides a major means by which an
application is evaluated and ranked to compete with other applications
for available assistance. The project description should be concise and
complete and should address the activity for which federal funds are
being requested. Supporting documents should be included where they can
present information clearly and succinctly. Applicants are encouraged
to provide information on their organizational structure, staff,
related experience, and other information considered relevant. Awarding
offices use this and other information to determine whether the
applicant has the capability and resources necessary to carry out the
proposed project. It is important, therefore, that this information be
included in the application. However, in the narrative the applicant
must distinguish between resources directly related to the proposed
project from those that will not be used in support of the specific
project for which funds are requested. Please refer to the UPD sections
in the appendix.
Length of Applications--Each application narrative should not
exceed 20 pages in a 12-pitch font. Attachments and appendices should
not exceed 25 pages and should be used only to provide supporting
documentation such as administration charts, position descriptions,
resumes, and letters of intent or partnership agreements. A table of
contents and an executive summary should be included but will not count
in the page limitations. Each page should be numbered sequentially,
including the attachments and appendices. This limitation of 20 pages
per category should be considered as a maximum, and not necessarily a
goal. Application forms are not to be counted in the page limit.
Please do not include books or videotapes as they are not easily
reproduced and are, therefore, inaccessible to the reviewers.
Part IV: Post-Award
Applicable Regulations--Applicable DHHS regulations can be found in
45 CFR part 74 or 92.
Treatment of Program Income--Program income from activities funded
under this program may be retained by the recipient and added to the
funds committed to the project, and used to further program objectives.
Reporting Requirements--Grantees are required to file the Financial
Status Report (SF-269) semi-annually and the Program Performance
Reports quarterly, along with the Schedule C of the ORR Quarterly
Performance Report. Category Three grantees should note the additional
requirements for the final report noted under Category Three Grantee
Responsibilities above.
Funds awarded must be accounted for, and reported under, the
distinct grant number ascribed. Although ORR does not expect the
proposed projects to include evaluation activities, it does expect
grantees to maintain adequate records to track and report on project
outcomes and expenditures. The official receipt point for all reports
and correspondence is the Grants Management Officer, Administration for
Children and Families/Office of Grants Management, Division of
Discretionary Grants, 370 L'Enfant Promenade SW., 4th Floor,
Washington, DC 20447, Telephone: (202) 401-4577. An original and one
copy of each report shall be submitted within 30 days of the end of
each reporting period directly to the Office of Grants Management.
A Final Financial and Program Report shall be due 90 days after the
project expiration date or termination of federal budget support.
Dated: May 13, 2002.
Nguyen Van Hanh,
Director, Office of Refugee Resettlement.
Appendix A--Uniform Project Description OMB No. 0970-0139
The project description is approved under OMB control number
0970-0139 which expires 12/31/03.
Part I: The Project Description Overview
Purpose
The project description provides a major means by which an
application is evaluated and ranked to compete with other
applications for available assistance. The project description
should be concise and complete and should address the activity for
which Federal funds are being requested. Supporting documents should
be included where they can present information clearly and
succinctly. In preparing your project description, all information
requested through each specific evaluation criteria should be
provided. Awarding offices use this and other information in making
their funding recommendations. It is important, therefore, that this
information be included in the application.
General Instructions
ACF is particularly interested in specific factual information
and statements of measurable goals in quantitative terms. Project
descriptions are evaluated on the basis of substance, not length.
Extensive exhibits are not required. Cross referencing should be
used rather than repetition. Supporting information concerning
activities that will not be directly funded by the grant or
information that does not directly pertain to an integral part of
the grant funded activity should be placed in an appendix.
Pages should be numbered and a table of contents should be
included for easy reference.
Part II: General Instructions for Preparing a Full Project
Description
Introduction
Applicants required to submit a full project description shall
prepare the project description statement in accordance with the
following instructions and the specified evaluation criteria. The
instructions give a broad overview of what your project description
should include while the evaluation criteria expands and clarifies
more program-specific information that is needed.
Project Summary/Abstract
Provide a summary of the project description (a page or less)
with reference to the funding request.
Objectives and Need for Assistance
Clearly identify the physical, economic, social, financial,
institutional, and/or other problem(s) requiring a solution. The
need for assistance must be demonstrated and the principal and
subordinate objectives of the project must be clearly stated;
supporting documentation, such as letters of support and
testimonials from concerned interests other than the applicant, may
be included. Any relevant data based on planning studies should be
included or referred to in the endnotes/footnotes. Incorporate
demographic data and participant/beneficiary information, as needed.
In developing the project description, the applicant may volunteer
or be requested to provide information on the total range of
projects currently being conducted and supported (or to be
initiated), some of which may be outside the scope of the program
announcement.
Results or Benefits Expected
Identify the results and benefits to be derived.
Approach
Outline a plan of action which describes the scope and detail of
how the proposed work will be accomplished. Account for all
[[Page 36631]]
functions or activities identified in the application. Cite factors
which might accelerate or decelerate the work and state your reason
for taking the proposed approach rather than others. Describe any
unusual features of the project such as design or technological
innovations, reductions in cost or time, or extraordinary social and
community involvement.
Provide quantitative monthly or quarterly projections of the
accomplishments to be achieved for each function or activity in such
terms as the number of people to be served and the number of
activities accomplished. When accomplishments cannot be quantified
by activity or function, list them in chronological order to show
the schedule of accomplishments and their target dates.
If any data is to be collected, maintained, and/or disseminated,
clearance may be required from the U.S. Office of Management and
Budget (OMB). This clearance pertains to any ``collection of
information that is conducted or sponsored by ACF.''
List organizations, cooperating entities, consultants, or other
key individuals who will work on the project along with a short
description of the nature of their effort or contribution.
Staff and Position Data
Provide a biographical sketch for each key person appointed and
a job description for each vacant key position. A biographical
sketch will also be required for new key staff as appointed.
Organizational Profiles
Provide information on the applicant organization(s) and
cooperating partners such as organizational charts, financial
statements, audit reports or statements from CPAs/Licensed Public
Accountants, Employer Identification Numbers, names of bond
carriers, contact persons and telephone numbers, child care licenses
and other documentation of professional accreditation, information
on compliance with Federal/State/local government standards,
documentation of experience in the program area, and other pertinent
information. Any non-profit organization submitting an application
must submit proof of its non-profit status in its application at the
time of submission.
The non-profit agency can accomplish this by providing a copy of
the applicant's listing in the Internal Revenue Service's (IRS) most
recent list of tax-exempt organizations described in section
501(c)(3) of the IRS code, or by providing a copy of the currently
valid IRS tax exemption certificate, or by providing a copy of the
articles of incorporation bearing the seal of the State in which the
corporation or association is domiciled.
Third-Party Agreements
Include written agreements between grantees and subgrantees or
subcontractors or other cooperating entities. These agreements must
detail scope of work to be performed, work schedules, remuneration,
and other terms and conditions that structure or define the
relationship.
Letters of Support
Provide statements from community, public and commercial leaders
that support the project proposed for funding. All submissions
should be included in the application OR by application deadline.
Budget and Budget Justification
Provide line item detail and detailed calculations for each
budget object class identified on the Budget Information form.
Detailed calculations must include estimation methods, quantities,
unit costs, and other similar quantitative detail sufficient for the
calculation to be duplicated. The detailed budget must also include
a breakout by the funding sources identified in Block 15 of the SF-
424.
Provide a narrative budget justification that describes how the
categorical costs are derived. Discuss the necessity,
reasonableness, and allocability of the proposed costs.
General
The following guidelines are for preparing the budget and budget
justification. Both Federal and non-Federal resources shall be
detailed and justified in the budget and narrative justification.
For purposes of preparing the budget and budget justification,
``Federal resources'' refers only to the ACF grant for which you are
applying. Non-Federal resources are all other Federal and non-
Federal resources. It is suggested that budget amounts and
computations be presented in a columnar format: First column, object
class categories; second column, Federal budget; next column(s),
non-Federal budget(s), and last column, total budget. The budget
justification should be a narrative.
Personnel
Description: Costs of employee salaries and wages.
Justification: Identify the project director or principal
investigator, if known. For each staff person, provide the title,
time commitment to the project (in months), time commitment to the
project (as a percentage or full-time equivalent), annual salary,
grant salary, wage rates, etc. Do not include the costs of
consultants or personnel costs of delegate agencies or of specific
project(s) or businesses to be financed by the applicant.
Fringe Benefits
Description: Costs of employee fringe benefits unless treated as
part of an approved indirect cost rate.
Justification: Provide a breakdown of the amounts and
percentages that comprise fringe benefit costs such as health
insurance, FICA, retirement insurance, taxes, etc.
Travel
Description: Costs of project-related travel by employees of the
applicant organization (does not include costs of consultant
travel).
Justification: For each trip, show the total number of
traveler(s), travel destination, duration of trip, per diem, mileage
allowances, if privately owned vehicles will be used, and other
transportation costs and subsistence allowances. Travel costs for
key staff to attend ACF-sponsored workshops should be detailed in
the budget.
Equipment
Description: ``Equipment'' means an article of nonexpendable,
tangible personal property having a useful life of more than one
year and an acquisition cost which equals or exceeds the lesser of
(a) the capitalization level established by the organization for the
financial statement purposes, or (b) $5,000. (Note: Acquisition cost
means the net invoice unit price of an item of equipment, including
the cost of any modifications, attachments, accessories, or
auxiliary apparatus necessary to make it usable for the purpose for
which it is acquired. Ancillary charges, such as taxes, duty,
protective in-transit insurance, freight, and installation shall be
included in or excluded from acquisition cost in accordance with the
organization's regular written accounting practices.)
Justification: For each type of equipment requested, provide a
description of the equipment, the cost per unit, the number of
units, the total cost, and a plan for use on the project, as well as
use or disposal of the equipment after the project ends. An
applicant organization that uses its own definition for equipment
should provide a copy of its policy or section of its policy which
includes the equipment definition.
Supplies
Description: Costs of all tangible personal property other than
that included under the Equipment category.
Justification: Specify general categories of supplies and their
costs. Show computations and provide other information which
supports the amount requested.
Contractual
Description: Costs of all contracts for services and goods
except for those which belong under other categories such as
equipment, supplies, construction, etc. Third-party evaluation
contracts (if applicable) and contracts with secondary recipient
organizations, including delegate agencies and specific project(s)
or businesses to be financed by the applicant, should be included
under this category.
Justification: All procurement transactions shall be conducted
in a manner to provide, to the maximum extent practical, open and
free competition. Recipients and subrecipients, other than States
that are required to use Part 92 procedures, must justify any
anticipated procurement action that is expected to be awarded
without competition and exceed the simplified acquisition threshold
fixed at 41 U.S.C. 403(11) currently set at $100,000. Recipients
might be required to make available to ACF pre-award review and
procurement documents, such as request for proposals or invitations
for bids, independent cost estimates, etc.
Note: Whenever the applicant intends to delegate part of the
project to another agency, the applicant must provide a detailed
budget and budget narrative for each delegate agency, by agency
title, along with the required supporting information referred to in
these instructions.
Other
Enter the total of all other costs. Such costs, where applicable
and appropriate, may
[[Page 36632]]
include but are not limited to insurance, food, medical and dental
costs (noncontractual), professional services costs, space and
equipment rentals, printing and publication, computer use, training
costs, such as tuition and stipends, staff development costs, and
administrative costs.
Justification: Provide computations, a narrative description and
a justification for each cost under this category.
Indirect Charges
Description: Total amount of indirect costs. This category
should be used only when the applicant currently has an indirect
cost rate approved by the Department of Health and Human Services
(HHS) or another cognizant Federal agency.
Justification: An applicant that will charge indirect costs to
the grant must enclose a copy of the current rate agreement. If the
applicant organization is in the process of initially developing or
renegotiating a rate, it should immediately upon notification that
an award will be made, develop a tentative indirect cost rate
proposal based on its most recently completed fiscal year in
accordance with the principles set forth in the cognizant agency's
guidelines for establishing indirect cost rates, and submit it to
the cognizant agency. Applicants awaiting approval of their indirect
cost proposals may also request indirect costs. It should be noted
that when an indirect cost rate is requested, those costs included
in the indirect cost pool should not also be charged as direct costs
to the grant. Also, if the applicant is requesting a rate which is
less than what is allowed under the program, the authorized
representative of the applicant organization must submit a signed
acknowledgment that the applicant is accepting a lower rate than
allowed.
Program Income
Description: The estimated amount of income, if any, expected to
be generated from this project.
Justification: Describe the nature, source and anticipated use
of program income in the budget or refer to the pages in the
application that contain this information.
Nonfederal Resources
Description: Amounts of non-Federal resources that will be used
to support the project as identified in Block 15 of the SF-424.
Justification: The firm commitment of these resources must be
documented and submitted with the application in order to be given
credit in the review process. A detailed budget must be prepared for
each funding source.
Total Direct Charges, Total Indirect Charges, Total Project Costs
[Self-explanatory]
[FR Doc. 02-13089 Filed 5-23-02; 8:45 am]
BILLING CODE 4184-01-P